Law & Compliance Division Conference

7:00 a.m. ET
Registration Open

7:30 a.m. ET
Continental Breakfast

8:00 a.m. ET
Exhibits Open

8:30 a.m. ET
Meet the Directors: CLE is not offered for this panel
CFTC directors will discuss their respective staff's missions, priorities and past, present and future initiatives.

Moderator: 

• Allison Lurton, Chief Legal Officer & General Counsel, FIA

Panelists:

• Vincent McGonigle, Director, Division of Market Oversight, CFTC  

9:30 a.m. ET
Networking Break

9:45 a.m. ET
CONCURRENT SESSIONS
Comparing CFTC and SEC Client Protection Regimes
Ever wonder about the differences between the CFTC and SEC customer protection regimes -- how they are similar, different and, at times, somewhere in between? What implications they have for CCPs, brokers and customers? Panelists will discuss the basics and nuances of the two regimes and whether we can expect changes in the years to come.

Moderator: 

• Melissa Zierk, Managing Director, General Counsel, R.J. O’Brien 

Panelists:

• Joshua Beale, Associate Director, Market Participants Division, CFTC 
• Ronald Filler, President, Ronald Filler & Associates 
• Geoffrey Goldman, Partner, Shearman & Sterling 
• Michael Macchiaroli, Risk Management & Control Associate Director, SEC 
• Michael Topiel, Executive Director and Counsel, UBS

Cross-Border Regulations: Around the World in 60 Minutes
Get practical updates and insights on how new laws and regulations outside the US may impact you and your customers.

Moderator: 

• John Nicholas, Managing Director and Deputy Director of Compliance, SG Americas Securities 

Panelists:

• Michelle Crutchfield, Director & Assistant General Counsel, Bank of America 
• Peter Kals, Senior VP and Assistant General Counsel, Citi 
• Nathaniel Lalone, Partner, Katten 
• Deanna Reitman, Of Counsel, DLA Piper 
• Eric Seinsheimer, Director, Legal (Americas) & US CCO, Eurex 

LIBOR Transition: Are We Done Yet?
LIBOR is soon-to-be no more. What's the state of the transition and what remains? What are the implications for exchanges, CCPs, brokers and customers?

Moderator: 

• Julia Kan, Vice President & Assistant General Counsel, J.P. Morgan 

Panelists:

• Tamika Bent, Associate, Linklaters 
• Lary Stromfeld, Partner, Cadwalader 
• Owen Taylor, Head of Legal: Clearing Services, LCH 

10:45 a.m. ET
Networking Break

11:15 a.m. ET
CONCURRENT SESSIONS
Rethinking Market Structure: Execution & Clearing
Change is afoot with execution and clearing infrastructure in derivatives and securities. Or is it? Experts will discuss recent CFTC and SEC market structure initiatives. Are they needed? Will they come to pass? Let's debate.

Moderator: 

• Robert Klein, Managing Director, Counsel, Citigroup Global Markets 

Panelists:

• Kara Dutta, Assistant General Counsel, Intercontinental Exchange 
• Stephen Humenik, Global Head of Derivatives Legal, Crypto.com FCM 
• Colin Lloyd, Partner, Sullivan & Cromwell 
• Peter Malyshev, Partner, Cadwalader Wickersham & Taft 
• Dawn Stump, Strategic Advisor, The Honorable Dawn Stump 

 
Managing an Effective Compliance Program
Can you identify the pillars of an effective compliance program? Do the answers change in volatile markets or a down economy? We'll discuss how to establish, maintain and grow an effective compliance program amidst the varied, complicated and sometimes unforeseen pressures of the real world.

Moderator: 

• TBC

Panelists:

• Sabeena Ahmed Liconte, Chief Compliance Officer, ICBC Standard Securities 
• Kathleen Clapper, Managing Director, Compliance, NFA 
• Daniel Davis, Partner, Katten 
• Matthew Kulkin, Partner, WilmerHale 
• Janet McCormick, Executive Director, UBS 

12:15 p.m. ET
Networking Break

12:30 p.m. ET
Annual Meeting & Keynote Lunch
Co-Sponsored by Willkie, Farr & Gallagher

The robots are coming and they’re getting smarter...leading expert in social robotics and MIT Media Lab research scientist Dr. Kate Darling will explore the opportunities and challenges of human-robot interaction, the true potential of AI and robotics and the limits of what robots and AI can do.

Speaker: 

• Kate Darling, Leading Expert in Social Robotics and MIT Media Lab Research Scientist

2:00 p.m. ET
Networking Break

2:15 p.m. ET
CONCURRENT SESSIONS
Best Practices for Responding to Investigations and Enforcement Inquiries
Your firm receives a call from the exchange inquiring about suspicious trading. The CFTC sends a notice of investigation. What do you do next? Be prepared with a gameplan from the experts.

Moderator: 

• Matthew Lischen, Managing Director and Assistant General Counsel, RBC Capital Markets

Panelists:

• Margo Bailey, Partner, Willkie Farr 
• David Karrow, Associate General Counsel, ABN AMRO 
• Charley Mills, Partner, Bracewell 
• Vito Naimoli, Chief Regulatory Officer, ICE Futures U.S. 

CPO/CTA Issues
Know your customer. Learn the regulatory, legal and operational issues that are top of mind for asset managers and investment funds.

Moderator: 

• Sarah Riddell, Of Counsel, Morgan Lewis & Bockius

Panelists:

• Andrew Cross, Partner, Perkins Coie 
• Jan Folena, Partner, Stradley Ronan 
• Aaron Friedman, Deputy U.S. Head of Government & Regulatory Policy, Citadel 
• Ray Ramirez, Partner, Eversheds Sutherland (US) 
• Joshua Sterling, Partner, Jones Day 

3:15 p.m. ET
Networking Break

3:45 p.m. ET
CONCURRENT SESSIONS
Ethics: Transactions Scenario
The panel will discuss ethical issues from the perspective of attorneys representing counterparties in a hypothetical derivatives transaction.

Moderator: 

• Kristyn Walker, Senior Counsel, Wells Fargo

Panelists:

• Jonathan Ammons, Partner, Reed Smith 
• GuyLaine Charles, Founder, Charles Law 
• Ryan Hayden, Associate, Davis Polk & Wardell 
• Nathan Howell, Partner, Sidley Austin 
• David McIndoe, Partner, Eversheds Sutherland 

 
Reporting & Recordkeeping: Is Technology a Blessing or Curse?
CFTC swap reporting go-live. The SEC's proposal mandating reporting of large security-based swap positions. The agencies' 10-figure fines for recordkeeping violations relating to employee use of personal devices. Reporting and recordkeeping rules have made headlines. Panelists will reflect on a frenetic year and what it portends for the future of reporting and recordkeeping compliance.

Moderator: 

• Ari Nakkab, Executive Director, Global Head of CGM Compliance, Macquarie Futures USA

Panelists:

• Anthony Mansfield, Partner, Allen & Overy 
• Ryan Olszewski, Compliance Officer – Director Regulatory Reporting, Societe Generale 
• Christopher Reinhardt, Executive Director, Global Head of Market Surveillance, CME Group 
• Natalie Tynan, Associate General Counsel, Head of Tech Documentation Strategy, FIA 
• Alan Walkow, Senior Counsel HSBC 

 
Event Markets, Retail & Innovative Products 
Innovate or die. Exchanges and market participants are constantly pushing forward with new products. Meanwhile, regulators must make tough decisions on whether and how to accommodate such products within existing statutory and regulatory frameworks. This panel will discuss emerging event, retail and other innovative products in digital assets and DeFi, what CFTC and SEC rules are relevant, and what they mean for market participants.

Moderator: 

• Conor Weber, Senior Director & Associate General Counsel, CME Group

Panelists:

• Micah Green, Partner, Steptoe & Johnson 
• Angie Karna, Head of Legal for Global Markets, Americas, Nomura International
• Daniel Laczynski, Director, Compliance, Charles Schwab Futures and Forex 
• Anne Loranger, Chief Regulatory Officer, Railbird Technologies 
• Edward So, Partner, White & Case 

5:00 p.m. ET
Roundtable #1 - Buyside Issues - CLE is not offered for this Roundtable

Join us for a practical, informal discussion of the legal and compliance issues facing the buyside today.  Whether you're a buyside participant hoping to learn from your peers or a sellside participant looking to understanding your clients better, there is something for everyone! 

Moderator: 

• Rita Molesworth, Willkie Farr & Gallagher

Panelists:

• David Mitchell, Fried Frank

Roundtable #2 - Vendor Showcase– CLE is not offered for this Roundtable

5:15 p.m. ET
Networking Reception
 

9:00 p.m. ET
Late Night Karaoke
 

7:00 a.m. ET
Registration Open and Continental Breakfast  

8:00 a.m. ET
Exhibits Open  

8:15 a.m. ET
Washington Update & Crypto Legislation - CLE is not offered for this Roundtable
Get an inside look at legislative priorities that stand to impact derivatives and digital assets. Can we expect to see anything noteworthy from a divided Congress?

Moderator: 

• Kyle Glenn, Vice President of U.S. Government Relations, FIA

8:45 a.m. ET
Closing Remarks – L&C Division Co-President Julie Mao, Goldman Sachs

9:00 a.m. ET
Networking Break

9:15 a.m. ET
CONCURRENT SESSIONS
Ethics - Investigations Scenario
The panel will discuss ethical issues from the perspective of attorneys representing the firm and individuals in a hypothetical regulatory investigation.

Moderator: 

• Maria Chiodi, Managing Director & Counsel Legal & Compliance, Credit Suisse Securities

Panelists:

• Harris Kay, Partner, Davis Wright Tremaine 
• James Lundy, Partner, Foley & Lardner 
• Michael Spafford, Partner, Paul Hastings 
• Khadija Waugh, Director & Associate General Counsel, CME Group 

Treasury Market Structure
The SEC is proposing to revamp treasury clearing. It begs the question: is there a problem to be fixed? Panelists will debate and discuss implications for market participants who are active in treasury markets.

Moderator: 

• Julie Mao, Vice President, Goldman Sachs

Panelists:

• Robert Cordell, Executive Director & Counsel, Mizuho Americas 
• Brandon Hammer, Associate, Cleary Gottlieb Steen & Hamilton 
• Laura Klimpel, Managing Director, DTCC 
• Jonah Platt, U.S. Head of Government & Regulatory Policy, Citadel Securities

Commodities/End User
Energy, agriculture and metals saw another historic year of market turbulence. The COVID-19 pandemic continues to weigh on supply and demand curves. And geopolitical forces have been thrust front and center. What are the lessons learned for compliance and legal departments?

Moderator: 

• William McCoy, Managing Director, Legal and Compliance Division, Morgan Stanley 

Panelists:

• Casey Khan, Counsel, Sidley Austin 
• Michael Loesch, Partner, Baker Botts 
• Jennifer Minnis, Managing Counsel, BP Corporation North America 
• Laura Mul, Director, Futures and Commodities Compliance, RBC Capital Markets 
• Thane Twiggs, Risk Management, Chief Compliance Officer, Cargill 

10:15 a.m. ET
Networking Break

10:30 a.m. ET
CONCURRENT SESSIONS
Crypto Regulation & Enforcement
Crypto is a scourge or panacea, depending on whom you ask. Experts will explore how regulators are responding to high-profile failures in digital asset venues and platforms while balancing the potential promise many still see in these products.

Moderator: 

• Neal Kumar, Partner, Willkie Farr & Gallagher  

Panelists:

• Julia Hueckel, Associate General Counsel, Global Regulatory Policy, Coinbase Derivatives Exchange 
• Cheryl Isaac, Partner, K&L Gates 
• Kimberly Johns, Managing Director & Senior Counsel, Global Head of Digital Assets Legal, Goldman Sachs 
• Yvette Valdez, Partner, Latham & Watkins

 
Global Clearing & Bankruptcy
Experts review developments in the US, Europe, and Asia impacting client clearing and risk, including customer access to clearing, CCP governance, cross-border recognition of CCPs, and netting and collateral opinions.

Moderator: 

• Jackie Mesa, COO and Senior Vice President of Global Policy, FIA  

Panelists:

• Vincent Lazar, Partner, Jenner & Block 
• Darren Littlejohn, Partner, Clifford Chance US 
• Edward Mayfield, Assistant General Counsel & Director, Bank of America 
• Johns Williams, Partner, Milbank 

11:30 a.m. ET
Networking Break

11:45 a.m. ET
CONCURRENT SESSIONS
Carbon & Climate Markets
This panel will go in depth on compliance and voluntary carbon markets, as well as related listed and OTC derivative markets. What legal, documentation and compliance issues need to be considered when transacting in these products?

Moderator: 

• Kari Larsen, Partner, Willkie Farr & Gallgher  

Panelists:

• Abigail Knauff, Special Counsel to Chairman Behnam, CFTC 
• Ferdisha Snagg, Counsel, Cleary Gottlieb Steen & Hamilton 
• Edward Zabrocki, Managing Director & Counsel, Morgan Stanley 

Practical Pointers for Better Examinations
Hear from examiners and the examined: what are the keys for a successful annual exam?

Moderator: 

• Jamila Piracci, Principal, Roos Innovations  

Panelists:

• Joseph Ajibesin, Executive Director and Counsel, Morgan Stanley 
• Carl Kennedy, Partner, Katten 
• Ryan Lester, Managing Director, Goldman Sachs 
• Stephen Montgomery, Managing Director, Head of Macro and FCM Compliance, Wells Fargo Securities 

12:45 p.m. ET
Grab & Go Lunch

Schedule subject to change.